Richard E. Mannix Jr
Professional Summary
Richard E. Mannix JR, who also goes by Richard Elword Mannix Jr, Richard Elword Mannix, Richard E. Mannix Jr. Jr, is a registered financial advisor currently at CNR SECURITIES, LLC located in New York, New York. Richard is registered as a RR (Registered Representative) and started their career in finance in 1985. Richard has worked at 5 firms and has passed the Series 63, Series 72, Series 57TO, Series 6TO, SIE, Series 3, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Elword Mannix Jr, Richard Elword Mannix, Richard E. Mannix Jr. Jr
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
CNR SECURITIES LLC | ROCHDALE INVESTMENT MANAGEMENT INC. | RIM SECURITIES LLC | CNR SECURITIES, LLC
Contact Information
Main Address
400 Park Avenue 3rd Floor, New York, NY 10022Mailing Address
400 Park Avenue 3rd Floor, New York, NY 10022Phone Number
(212) 702-3500Established
Delaware since 10/11/2001Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | — |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CHIEF EXECUTIVE OFFICER, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
Regulatory Event
3Arbitration
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/2/2021)
(8/2/2021)
(8/2/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Feb 1999Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 1985About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard E. Mannix JR's CRS (Customer Relationship Summary).
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